Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
, controlling and supervising business policy of an intermediary; (2) controlling, supervising and managing business units relating to investment advice, investment planning, analysis of investment or capital
Institute of Appraisal Profession under the first paragraph shall be recognized by the SEC Office as an appropriate organization for supervising and promoting appraisal profession as prescribed in Clause 18
that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the
supervising the securities company under the first paragraph, the supervisor may authorize other company to perform such duty if the securities company is able to demonstrate that the authorized company is able
) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4 and Clause 5 or Clause 6
prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary; (2) controlling, supervising and managing business units relating to investment
approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no